<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/11?registers=between&min-day=1&max-day=30 Thu, 23 May 2024 01:45:41 -0700 Thu, 23 May 2024 01:45:41 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/11?registers=between&min-day=1&max-day=30 Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26413.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26413.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26413 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26413.pdf Notice - Statement on Central Counterparties Authorized Under the European Markets Infrastructure Regulation Seeking To Register as a Clearing Agency or To Request Exemptions From Certain Requirements Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26285.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26285.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26285 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26285.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Establish the ClaimConnectTM https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26282.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26282.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26282 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26282.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2618, Risk Settings and Trading Risk Metrics https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26281.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26281.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26281 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26281.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide and the Guide to the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26280.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26280.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26280 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26280.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26279.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26279.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26279 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26279.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26316.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26316.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26316 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26316.pdf Notice - Main Street Capital Corporation, et al. https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26227.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26227.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26227 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26227.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to PCAOB Interim Independence Standards and PCAOB Rules To Align With Amendments to Rule 2-01 of Regulation S-X https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26145.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26145.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26145 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26145.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 907.00 of the Manual To Extend the Period of Time for the Entitlement of Certain Eligible Issuers To Receive Complimentary Products and Services Under That Rule https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26143.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26143.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26143 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26143.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26196.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26196.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26196 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26196.pdf Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26113.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26113.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26113 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26113.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26012.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26012.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26012 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26012.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 9216 and an Uncontested Offer of Settlement Under Rule 9270(f) https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26011.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26011.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26011 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26011.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee https://regulations.justia.com/regulations/fedreg/2020/11/24/C1-2020-25391.html https://regulations.justia.com/regulations/fedreg/2020/11/24/C1-2020-25391.html Tue, 24 Nov 2020 00:00:00 -0800 C1-2020-25391 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/C1-2020-25391.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Make Qualified Contingent Cross Orders Available for FLEX Option Trading https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25909.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25909.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25909 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25909.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) Under FINRA Rule 3110 (Supervision) https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25902.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25902.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25902 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25902.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25901.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25901.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25901 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25901.pdf Notice - Oaktree Strategic Income II, Inc., et al. https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25900.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25900.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25900 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25900.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Amendments to Options 4, Sections 3 and 5 https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25899.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25899.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25899 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25899.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25898.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25898.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25898 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25898.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 30b2-1 https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25897.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25897.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25897 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25897.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25896.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25896.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25896 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25896.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25895.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25895.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25895 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25895.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25894.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25894.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25894 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25894.pdf Rule - Customer Margin Rules Relating to Security Futures https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-24353.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-24353.html Tue, 24 Nov 2020 00:00:00 -0800 2020-24353 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-24353.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25733.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25733.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25733 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25733.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust Under NYSE Arca Rule 8.201-E and the iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25732.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25732.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25732 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25732.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 5.33 in Connection With Market-Makers' Complex Orders, Quoting Obligations and Volume https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25731.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25731.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25731 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25731.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 6.13 in Connection With Market-Makers' Complex Orders, Quoting Obligations and Volume https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25730.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25730.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25730 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25730.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 21.20 in Connection With Market Makers' Complex Orders, Quoting Obligations and Volume https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25729.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25729.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25729 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25729.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To the Exchange's Pricing Schedule at Options 7 To Amend Taker Fees for Regular Orders https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25617.html https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25617.html Fri, 20 Nov 2020 00:00:00 -0800 2020-25617 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25617.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule Regarding an Incentive Program for Floor Brokers https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25616.html https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25616.html Fri, 20 Nov 2020 00:00:00 -0800 2020-25616 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25616.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25615.html https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25615.html Fri, 20 Nov 2020 00:00:00 -0800 2020-25615 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25615.pdf Notice - Order Setting Aside the Order by Delegated Authority Approving SR-IEX-2018-06; In the Matter of Investors Exchange LLC, 3 World Trade Center 58th Floor, New York, NY 10007, File No. SR-IEX-2018-06 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25508.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25508.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25508 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25508.pdf Notice - Securities Exchange Act of 1934; In the Matter of: Cboe BZX Exchange, Inc., 400 South LaSalle Street, Chicago, IL 60605, File No. SR-CboeBZX-2018-044; Order Setting Aside the Order by Delegated Authority Disapproving SR-CboeBZX-2018-044 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25507.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25507.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25507 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25507.pdf Notice - Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02; In the Matter of NYSE Arca, Inc., 11 Wall St., New York, NY 10005; File No. SR-NYSEArca-2018-02 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25506.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25506.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25506 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25506.pdf Notice - Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25505.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25505.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25505 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25505.pdf Notice - Securities Exchange Act of 1934; In the Matter of: NYSE Area, Inc., 11 Wall St., New York, NY 10005, File No. SR-NYSEArca-2019-01; Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2019-01 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25504.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25504.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25504 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25504.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25502.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25502.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25502 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25502.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 118 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25501.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25501.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25501 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25501.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding the Criteria To Qualify for a Posting Credit on Certain Customer Volume https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25500.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25500.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25500 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25500.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25499.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25499.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25499 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25499.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25497.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25497.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25497 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25497.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25496.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25496.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25496 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25496.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25495.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25495.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25495 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25495.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25494.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25494.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25494 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25494.pdf Notice - NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25492.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25492.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25492 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25492.pdf Notice - Northern Funds and Northern Trust Investments, Inc. https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25491.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25491.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25491 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25491.pdf Rule - Fund of Funds Arrangements https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-23355.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-23355.html Thu, 19 Nov 2020 00:00:00 -0800 2020-23355 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-23355.pdf